Head of APAC GFC Investigations, Executive Director Hong Kong

Department Profile
Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm's enterprise-wide financial crime prevention efforts. GFC includes both legal and compliance disciplines and has responsibility for governance, oversight and execution of the Firm's Anti-Money Laundering (AML), Sanctions, Anti-Corruption, Anti-Tax Evasion and Government and Political Activities Compliance programs. GFC also develops and/or assists in the development of appropriate policies and procedures, including those designed to assist the business units to know their clients and conduct appropriate due diligence and to prevent, detect and report potentially suspicious activity.

The APAC GFC Investigations team is responsible for the detection, investigation and reporting of suspicious activity within all Business Units across APAC (including Private Wealth Management, Wealth Management, Institutional Equities, Fixed Income, Commodities, Investment Management and Investment Banking).

Primary Responsibilities:
The Head of APAC GFC Investigations will be based in Hong Kong and report to the Head of APAC GFC (Hong Kong) and functionally to the Head of International GFC Investigations (London).

Primary responsibilities include:

Management of the APAC GFC Investigations team, which reviews escalations from financial crimes screening and monitoring workflows, conducts complex investigations, manages the filing of suspicious activity/transactions reports (SARs/STRs), engages in proactive intelligence outlook, and coordinates responses to financial crimes related regulatory and law enforcement enquiries.Oversight of all escalations of potentially suspicious activity, financial-crime related regulatory and law enforcement enquiries, financial crime investigations and SAR/STR filing across APAC.Oversight of APAC SAR/STR filings to the relevant national Financial intelligence Units, including coordination with regional Nominated Officers, Trade Surveillance, Compliance, and other Investigations teams globally to ensure consistency and sharing of information, where relevant and permissible.Appropriately escalate and provide information on Financial Crime risks, activity and issues to the Head of APAC GFC and other internal stakeholders across the region and globally.Maintain regional Investigations policies and procedures and provide APAC input into global Investigations-related policies and procedures.Involvement in the preparation of Management Information and Reporting on escalations received, investigations, SAR reporting, and presentation of relevant matters on these topics at governance forums.Support the Head of APAC GFC in developing and driving GFC strategic initiatives.Contribute to maintaining a programme of financial crime risk management in APAC, in accordance with applicable law and regulation and Firm policy.

The responsibilities listed are the core responsibilities in relation to this role. From time to time the Head of APAC GFC Investigations may be called upon to take on additional responsibilities as required to meet the objectives of their division and of the wider organisation. The ideal candidate will possess the following skills and attributes:

Experience

University degree or equivalent with strong academic credentials.Act in a MLRO capacity with minimum 10 years of investigative or related experience within financial crimes.Experience of managing a team.Good understanding of financial markets and products (in particular, Private Wealth Management, Equities, Fixed Income, Commodities and Investment Banking / Capital Markets) is an advantage.

Skills

A thorough understanding of financial crimes risk and the ability to identify new and emerging risks through engagement with external agencies and liaison with internal stakeholders.Advanced investigative capabilities and an understanding of relevant suspicious activity/transaction reporting legislation within the APAC region.Robust understanding of financial crimes screening and monitoring systems, workflows and review processes.Strong management and leadership skills, with the ability to motivate a team in a fast-paced environment.Excellent communication, leadership, and presentation skills with the ability to communicate effectively through all levels of the organization.Self-motivated and independent operator with the ability and maturity to make decisions and operate in fast-paced and dynamic settings.Excellent interpersonal skills and ability to work effectively with colleagues across the First and Second Line.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.

Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.